Broker-Dealers

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Finra’s BrokerCheck Could Become Standard On B-D, Registered Rep Websites

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Links to Finra BrokerCheck reports may soon be required for the websites of broker-dealers, registered reps and branch offices.

Cetera To Shut Down J.P. Turner B-D

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Cetera Financial Group will be shutting down J.P. Turner, its Atlanta-based broker-dealer acquired in June 2014.

Lights, Camera, Action!

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Videos increasingly are becoming an effective marketing tool for advisors.

A Slowdown In The Big Migration

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Perversely, independent B-Ds would benefit if advisors were feeling a bit more pain...

'Dissident' Candidate Wins Finra Election

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Brian Kovack has been elected to the Finra board of governors.

LPL To Begin Robo-Advisor Pilot Program

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LPL is about to begin testing on robo-advice technology that it hopes to roll out to its advisors next year.

Finra's Recruitment-Bonus Proposal May Open Brokers Up For Lawsuits, Firms Say

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Securities firms say the plan to require disclosure of brokers’ recruitment incentives is fraught with operational hurdles and could open brokers to litigation.

Noyes Hires Wealth Advisor

by FA Staff

Jim Abraham joins Noyes in Chicago.

Schwab Eases Past BofA In Client Assets

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The Charles Schwab Corp. has quietly overtaken Bank of America’s wealth management units to become the biggest U.S. retail investment firm as ranked by client assets.

Morgan Stanley Beats Estimates As Revenue Increase Tops Rivals

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Morgan Stanley reported profit that beat analysts’ estimates as a jump in trading and brokerage fees led to the biggest revenue increase among the six largest U.S. banks.

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